TO: All NASD Members and Other Interested Persons
LAST DATE FOR COMMENT: MAY 8, 1987.
EXECUTIVE SUMMARY
The NASD is requesting comments and suggestions on the concept of a rule that would restrict broker-dealers that are affiliated with issuers from making a market or trading in the securities of those issuers. The NASD invites comments on whether such practices should be restricted and, if so,
IMPORTANT MAIL VOTE
OFFICERS, PARTNERS AND PROPRIETORS
TO: All NASD Members
LAST VOTING DATE IS APRIL 15, 1985
Enclosed herewith is a proposed amendment to Article III, Section 33 of the Rules of Fair Practice. This amendment has been approved by the Association's Board of Governors for submission to the membership for a vote. If approved, the amendment must then be filed with, and approved
I M P O R T A N T
OFFICERS, PARTNERS AND PROPRIETORS
TO: All NASD Members and Other Interested Persons
Although it appears at this writing that the provisions under TEFRA with respect to withholding on dividends and interest will be repealed, members should be aware that other provisions of the Act - primarily the expanded reporting requirements - are still effective for transactions occurring
TO: All NASD Members and Other Interested Persons
Attention: Direct Participation Programs Department
COMMENTS MUST BE RECEIVED BY NOVEMBER 8, 1984
The Association's Board of Governors has approved for membership comment a proposed amendment to Appendix F to Article III, Section 34 of the Rules of Fair Practice. Appendix F contains rules and regulations relating to public offerings of
The Financial Industry Regulatory Authority (FINRA) is the largest independent regulator for all securities firms doing business in the United States. FINRA’s mission is to protect America’s investors by making sure the securities industry operates fairly and honestly.
Along with their responsibilities to the securities industry, FINRA employees have responsibilities to all of FINRA’s other
Sec. 4.13 (a) The Board may, by resolution or resolutions adopted by a majority of the whole Board, appoint one or more committees. Except as herein provided, vacancies in membership of any committee shall be filled by the vote of a majority of the whole Board. The Board may designate one or more Directors as alternate members of any committee, who may replace any absent or
(a) A member seeking registration as an ADF Market Participant shall:
(1) file an application with FINRA in which the member:
(A) specifies whether the member is seeking registration in Nasdaq and/or CQS securities;
(B) certifies the member's good standing with FINRA;
(C) demonstrates compliance with the net capital and other financial responsibility provisions of the Exchange Act;
(D
INFORMATIONAL
Anti-Money Laundering Customer Identification Programs for Broker/Dealers
Effective Date: October 1, 2003
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registration
Senior Management
Anti-Money Laundering
Compliance Programs
Executive Summary
On April 30, 2003, the Department of
Each year, FINRA publishes its Annual Risk Monitoring and Examination Priorities Letter to highlight issues of importance to FINRA's regulatory programs.
SummaryFINRA has adopted amendments to conform its rules to the Securities and Exchange Commission’s (SEC) amendments to Rule 15c6-1 and adoption of Rule 15c6-2 under the Securities Exchange Act of 1934 to shorten the standard settlement cycle for most broker-dealer transactions from two business days after the trade date (T+2) to one business day after the trade date (T+1). The amendments revise
